Annex - 8 [PART I, Section V, para 1 (iii) ] FC-GPR

Transcription

1 FC-GPR Annex - 8 [PART I, Section V, para 1 (iii) ] (To be filed by the company through its Authorised Dealer Category I bank with the Regional Office of the RBI under whose jurisdiction the Registered Office of the company making the declaration is situated as and when shares / convertible debentures are issued to the foreign investor, along with the documents mentioned in item No. 4 of the undertaking enclosed to this Form) Permanent Account Number (PAN) of the investee company given by the Income Tax Department Date of issue of shares / convertible debentures Particulars No. 1. Name of the Investee Company (In Block Letters) Address of the Registered Office of the Investee Company with City, District and State clearly mentioned Telephone Fax State Registration No. given by Registrar of Companies and Date of Incorporation Whether existing company or new company (strike off whichever is not applicable) Existing company / New company (Brownfield) (Greenfield) 125

2 If existing company, give registration number allotted by RBI for FDI, if any Telephone Fax 2. Description of the main business activity NIC Code 68 Location of the project and NIC code for the district where the project is located a)detailed address including Name, City,District and State b)code for District 69 c)code for State Percentage of FDI allowed as per FDI policy (Sectoral Cap under FDI Policy) State whether FDI is allowed Automatic Route / Approval Route under Automatic Route or Approval Route (strike out whichever is not applicable) If under Approval Route, give SIA/FIPB approval No. with date 3 Details of the foreign investor / collaborator (Details of foreign residence to be given. Indian address, if any, should not be given) Name Address 68 In terms of AP (DIR Series) Circular No 5 dated July 17, 2014, NIC 2008 codes may be reported 69 The list of State and District Codes may be downloaded from our website and District Code If there is more than one foreign investor/collaborator, separate Annex may be included for items 3 and 4 of the Form. 126

3 Country Constitution / Nature of the investing Entity [Specify whether 1. Individual 2. Company (Pl specify if erstwhile OCB) 3. FII 4. FVCI # 5. Foreign Trust 6. Private Equity Fund 7. Pension / Provident Fund 8. Sovereign Wealth Fund (SWF) Partnership / Proprietorship Firm 10. Financial Institution 11. NRIs / PIO 12. Others (please specify)] Date of incorporation 4 Particulars of Shares / Convertible Debentures/Others Issued (a Nature and date of issue ) Nature of issue 01 IPO / FPO 02 Preferential allotment / private placement 03 Rights 04 Bonus 05 Conversion of ECB 06 Conversion of royalty (including lump sum payments) 07 Conversion against import of capital goods by units in Date of issue Number of shares/ convertible debentures/others 70 SWF means a Government investment vehicle which is funded by foreign exchange assets, and which manages those assets separately from the official reserves of the monetary authorities. # The investment/s is made by FVCI under FDI scheme in terms of Schedule I to Notification No. FEMA 20/2000-RB dated May 3,

4 (b ) SEZ 08 ESOPs 09 Share Swap 10 Others (please specify) Total Type of security issued No. Nature of Security Numbe r 01 Equity 02 Compulsoril y Convertible Debentures 03 Compulsoril y Convertible Preference shares 04 Others (please specify) Total Maturit y Face valu e Premiu m Issu e Price per shar e Amoun t of inflow* i) In case the issue price is greater than the face value, please give break up of the premium received. ii) * In case the issue is against conversion of ECB or royalty or against import of capital goods by units in SEZ, a Chartered Accountant's Certificate certifying the amount outstanding on the date of conversion (c) Break up of premium Amount Control Premium Non competition fee please specify the nature 128

5 (d) Total inflow (in Rupees) on account of issue of shares / convertible debentures to non-residents (including premium, if any) vide (i) Remittance through AD: (ii) Debit to NRE/FCNR A/c with Bank (iii) Others (please specify) Date of reporting of (i) and (ii) above to RBI under Para 9 (1) A of Schedule I to Notification No. FEMA 20 /2000-RB dated May 3, 2000, as amended from time to time. (e) Disclosure of fair value of shares issued** We are a listed company and the market value of a share as on date of the issue is* We are an un-listed company and the fair value of a share is* ** before issue of shares *(Please indicate as applicable) 5. Post issue pattern of shareholding Equity Compulsorily convertible Preference Shares/ Debentures Investor category No. of shares Amount (Face V l ) R % No. of shares Amount (Face Value) Rs. % a) Non-Resident 01 Individuals 02 Companies 03 FIIs 04 FVCIs # 05 Foreign Trusts 06 Private Equity Funds 07 Pension/ Provident Funds 08 Sovereign Wealth Funds 09 Partnership/ Proprietorship Firms 10 Financial Institutions 11 NRIs/PIO 129

6 12 Others (please specify) Sub Total b) Resident Total # The investment/s is/are made by FVCI under FDI scheme in terms of Schedule I to Notification No. FEMA 20/2000-RB dated May 3,

7 DECLARATION TO BE FILED BY THE AUTHORISED REPRESENTATIVE OF THE INDIAN COMPANY: (Delete whichever is not applicable and authenticate) We hereby declare that: 1. We comply with the procedure for issue of shares / convertible debentures as laid down under the FDI scheme as indicated in Notification No. FEMA 20/2000- RB dated 3 rd May 2000, as amended from time to time. 2. The investment is within the sectoral cap / statutory ceiling permissible under the Automatic Route of RBI and we fulfill all the conditions laid down for investments under the Automatic Route namely (strike off whichever is not applicable). a) Shares issued on rights basis to non-residents are in conformity with Regulation 6 of the RBI Notification No FEMA 20/2000-RB dated 3 rd May 2000, as amended from time to time. b) Shares issued are bonus. OR OR c) Shares have been issued under a scheme of merger and amalgamation of two or more Indian companies or reconstruction by way of de-merger or otherwise of an Indian company, duly approved by a court in India. OR d)shares are issued under ESOP and the conditions regarding this issue have been satisfied 3. Shares have been issued in terms of SIA /FIPB approval No. dated 4 The foreign investment received and reported now will be utilized in compliance with the provision of a Prevention of Money Laundering Act 2002 (PMLA) and Unlawful Activities(Prevention) Act, 1967 (UAPA). We confirm that the investment complies with the provisions of all applicable Rules and Regulations. 131

8 5. We enclose the following documents in compliance with Paragraph 9 (1) (B) of Schedule 1 to Notification No. FEMA 20/2000-RB dated May 3, 2000: (i) (ii) A certificate from our Company Secretary certifying that (a) all the requirements of the Companies Act, 2013 have been complied with; (b) terms and conditions of the Government approval, if any, have been complied with; (c) the company is eligible to issue shares under these Regulations; and (d) the company has all original certificates issued by authorised dealers in India evidencing receipt of amount of consideration in accordance with paragraph 8 of Schedule 1 to Notification No. FEMA 20/2000-RB dated May 3, A certificate from SEBI registered Merchant Banker / Chartered Accountant indicating the manner of arriving at the price of the shares issued to the persons resident outside India. 6. Unique Identification Numbers given for all the remittances received as consideration for issue of shares/ convertible debentures/others (details as above), by Reserve Bank. (Signature of the Applicant)* : (Name in Block Letters) : (Designation of the signatory) : Place: Date: (* To be signed by Managing Director/Director/Secretary of the Company) R... R 132

9 CERTIFICATE TO BE FILED BY THE COMPANY SECRETARY OF THE INDIAN COMPANY ACCEPTING THE INVESTMENT: (As per Para 9 (1) (B) (i) of Schedule 1 to Notification No. FEMA 20/2000-RB dated May 3, 2000) In respect of the abovementioned details, we certify the following : 1. All the requirements of the Companies Act, 2013 have been complied with. 2. Terms and conditions of the Government approval, if any, have been complied with. 3. The company is eligible to issue shares / convertible debentures/others under these Regulations. 4. The company has all original certificates issued by AD Category I banks in India, evidencing receipt of amount of consideration in accordance with paragraph 8 of Schedule 1 to Notification No. FEMA 20/2000-RB dated May 3, (Name & Signature of the Company Secretary) (Seal) FOR USE OF THE RESERVE BANK ONLY: Registration Number for the FC-GPR: Unique Identification Number allotted to the Company at the time of reporting receipt of remittance R 133